JOB DESCRIPTION
Role title: Paraplanner
Reports to: Regional Head of Client Operations
Location: Region Specific
Hours of work: 35 hours per week
SMCR Function: This is a Conduct role
Join Ascot Lloyd: Shaping the Future of Wealth Management
Ascot Lloyd is one of the UK’s leading independent wealth management firms, proudly serving over 22,000 clients with a commitment to excellence. Backed by a prestigious private equity firm, we are at the forefront of transforming the wealth management landscape. Our strategy is built on three core tenets: delivering expert financial advice, providing exceptional client service, and harnessing innovative technology to make wealth management easier and more accessible.
If you’re passionate about driving change in a dynamic, independent organisation and want to help shape the future of wealth management, Ascot Lloyd is the place for you.
Purpose of role
We’re looking for a driven, detail-oriented Paraplanner to join our team. In this role, you will provide critical support to Financial Advisers and Administrators by delivering high-quality, compliant client service. You’ll play a pivotal role in the advisory process by conducting research, drafting & reviewing reports, and ensuring clients receive exceptional service in line with our values and regulatory standards.
We are on a journey to transform Ascot Lloyd so are looking for an individual who can both manage their day-to-day role, assigned to advisers and clients but can also help in the automation and digitisation of our reporting and processes.
Key Responsibilities
1. Analyse client information, including fact finds and risk profiles, to understand client needs and objectives.
2. Conduct research and analysis on new and existing plans, including fund and product comparisons, charging structures, tax considerations and any potential implications.
3. Enhancing the client experience by automating and tailoring suitability reports.
4. Support the delivery of excellent client service, including interacting with clients and advisers.
Experience / Skills Required
1. Qualifications: Level 4 Financial Planning Diploma (or equivalent).
2. Experience: Proven track record in paraplanning, including proficiency with research tools like Selectapension, FE Analytics, Voyant, and Dynamic Planner.
Competencies:
1. Excellent client service skills
2. Technically minded, methodical, analytical and disciplined
3. Strong written and verbal communication
4. Change orientated and growth mindset – always looking for a better way
5. Excellent attention to detail and ability to manage multiple priorities
SM&CR Responsibilities
As an FCA regulated Company, Ascot Lloyd are required to adhere to the Senior Managers and Certification Regime (SM&CR), to develop a culture where employees take personal responsibility for their own actions.
Individual Conduct Rules
1. You must act with integrity
2. You must act with due care, skill and diligence
3. You must be open and co-operative with the FCA, PRA and other regulators
4. You must pay due regard to the interests of customers and treat them fairly
5. You must observe proper standards of market conduct
6. You must act to deliver good outcomes for clients
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